Legalize / United Kingdom / Statutory-Instrument

The National Health Service Pension Scheme Regulations 2015

Type Statutory-Instrument

Publication 2015-02-05

Last updated 2025-08-01

State In force

Department King's Printer of Acts of Parliament

Source legislation.gov.uk

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(a) M became a member of the other scheme before the end of the period of 12 months starting on the day after the leaving date; and

(b) the application is made not later than—

(i) the end of the period of 12 months starting on the day M became a member of the other scheme; or

(ii) if M became a member of the other scheme on or before the leaving date, the end of the period of 12 months starting on the day after the leaving date.

(9) If paragraph (8) does not apply, M's application may only be made before the end of the period of 12 months starting on the day after the leaving date.

(10) In paragraphs (8) and (9), the leaving date is the day on which M ceased to be in the pensionable service in which the rights accrued.

(11) M may require the scheme manager to make a club transfer value payment only during the period of 12 months starting with the day on which M becomes eligible to be an active member of the scheme to which the payment is to be made.

How transfer value payments may be applied

138

(1) A deferred member (DM) may require the scheme manager to apply the guaranteed cash equivalent transfer value payment only in one of the ways permitted under section 95 of the 1993 Act.

(2) In any other case, a member may require the scheme manager to apply the guaranteed cash equivalent transfer value payment only in one of the ways permitted under section 101AE of the 1993 Act .

(3) The whole of the guaranteed cash equivalent transfer value payment must be applied, unless paragraph (4) applies.

(4) Benefits attributable to—

(a) DM’s accrued rights to a guaranteed minimum pension; or

(b) DM’s accrued rights attributable to service in a contracted-out employment (within the meaning of section 8 of the 1993 Act ) on or after 6th April 1997,

may be excluded from the guaranteed cash equivalent payment if section 96(2) of the 1993 Act applies (trustees or managers of certain receiving schemes or arrangements able and willing to accept a transfer payment only in respect of the members other rights).

(5) A transfer payment may be made only to—

(a) a pension scheme (other than a connected scheme) that is registered under Chapter 2 of Part 4 of the 2004 Act; or

(b) an arrangement that is a qualifying recognised overseas pension scheme for the purposes of that Part (see section 169(2) of that Act ).

(6) Paragraph (1) applies whether or not DM is entitled to a guaranteed cash equivalent transfer value payment under Chapter 1 of Part 4ZA of the 1993 Act.

Calculating amounts of transfer value or club transfer value

139

(1) The amount of the guaranteed cash equivalent transfer value payment is to be calculated and verified by the scheme manager in accordance with the Occupational Pension Schemes (Transfer Values) Regulations 1996 .

(2) In determining the factors to be used in the calculation of the member's (M's) guaranteed cash equivalent, the scheme manager must take account of—

(a) M's prospective normal pension age;

(b) advice from the scheme actuary.

(3) If the amount calculated in accordance with paragraph (1) or (5) is less than M's minimum transfer value (if any), the amount of the transfer value payment is to be equal to that value.

(4) In paragraph (3) “minimum transfer value” means the sum of—

(a) any transfer value payments that have been made to this scheme in respect of M as a result of which M is entitled to count any pensionable service under this scheme by reference to which the accrued rights subject to the transfer are calculated; and

(b) any contributions paid by M under Part 4 as a result of which M is entitled to count such service.

(5) If the transfer is a club transfer, the amount of the transfer value payment is calculated in accordance with the club transfer arrangements rather than paragraph (1).

(6) If a club transfer value is paid later than 6 months after the guarantee date, the amount of the club transfer value as specified in the statement of entitlement must be increased if necessary so that it is equal to the amount it would have been if the guarantee date had been the date on which the payment is made.

Effect of transfer-out

140

If a transfer value payment is made under this Section in respect of a person's rights under the scheme, those rights are extinguished.

SECTION 3 — Transfers in

Right to apply for acceptance of transfer value payment

141

(1) An active member (M) may apply for a transfer value payment to be accepted from—

(a) an appropriate registered occupational pension;

(b) a registered personal pension scheme;

(d) a corresponding scheme.

(2) Paragraph (1) does not apply to M's rights—

(a) under a free-standing AVC scheme to which paragraph (3) applies; or

(b) that are directly attributable to a pension credit.

(3) This paragraph applies to—

(a) a scheme which—

(i) immediately before 6th April 2006 was approved by the Commissioners for Her Majesty's Revenue and Customs by virtue of section 591(2)(h) of the Income and Corporation Taxes Act 1988 (free-standing AVC schemes); and

(ii) became a registered scheme for the purposes of the 2004 Act by virtue of Schedule 36 to that Act; or

(b) a scheme established on or after that date as a registered free-standing AVC scheme.

(4) An appropriate registered occupational pension scheme is a registered occupational pension scheme which is not—

(a) a connected scheme;

(b) a corresponding 1995 scheme; or

(5) In paragraph (1), “buy-out policy” means a policy of insurance or annuity contract that is appropriate for the purposes of section 19 of the 1993 Act (discharge of liability where guaranteed minimum pensions secured by insurance policies or annuity contracts).

(6) In paragraph (4)—

“a corresponding 1995 scheme” is a superannuation scheme provided under section 10 of the Superannuation Act 1972 and having effect in Scotland or a superannuation scheme provided under Article 12 of the Superannuation (Northern Ireland) Order 1972 , the provisions of which the Secretary of State has determined correspond to the provisions of the 1995 Regulations; and

“a corresponding 2008 scheme” is a superannuation scheme provided under section 10 of the Superannuation Act 1972 and having effect in Scotland or a superannuation scheme provided under Article 12 of the Superannuation (Northern Ireland) Order 1972, the provisions of which the Secretary of State has determined correspond to the provisions of the 2008 Regulations.

Application procedure

142

(1) An application under regulation 141—

(a) must be in writing;

(b) must specify the scheme or arrangement from which the transfer value payment is to be made and the anticipated amount of the payment;

(i) the end of the period of one year starting on the day the member (M) becomes eligible to be an active member of this scheme; and

(ii) M attains normal pension age;

(d) if the scheme manager so requires, may be made only if M has requested a statement of entitlement; and

(e) must meet such other conditions as the scheme manager requires.

(2) If the transfer is not a club transfer, a statement of entitlement—

(a) is a statement of the increase to pensionable earnings and the service M will be entitled to count as a result of the transfer if the payment is accepted;

(b) must specify—

(i) the period within which the payment is to be accepted by scheme manager; and

(ii) the amount of increase to pensionable earnings calculated in accordance with guidance and tables provided by the scheme actuary for the purpose.

(3) If the transfer is a club transfer, a statement of entitlement—

(a) is a statement of the club transfer earned pension; and

(b) must specify—

(i) the period within which the transfer is to be accepted by the scheme manager; and

(ii) the basis on which the club transfer earned pension will be revalued while M is in pensionable service under this scheme.

Acceptance of transfer value payment

143

(1) The scheme manager may accept an application under regulation 141 from a member (M) unless—

(a) such conditions as the scheme manager requires are not met; or

(b) paragraph (5) applies.

(2) If the transfer is a non-club transfer and the scheme manager accepts the payment, M is entitled—

(a) for the purposes of calculating benefits payable to, or in respect of, M under this scheme, to an increase in M's pensionable earnings calculated in accordance with regulation 144; and

(b) to be credited with the relevant period of pensionable service in this scheme.

(3) If the transfer is a club transfer, M is entitled—

(a) to the amount of club transfer earned pension specified in the statement of entitlement; and

(b) to be credited with the relevant period of pensionable service in this scheme.

(4) The relevant period is equal to the period of employment that qualified M for the rights in respect of which the transfer is being made.

(5) This paragraph applies to a non-club transfer if—

(a) it would be applied in whole or in part in respect of M's or M's spouse's entitlement to a guaranteed minimum pension; and

(b) it is less than the amount required for that purpose, as calculated in accordance with guidance and tables prepared by the scheme actuary for the purposes of this paragraph.

Calculation of increase to pensionable earnings

144

(1) The increase in pensionable earnings that the member (M) is entitled to count under regulation 143 as a result of the transfer is calculated—

(a) in accordance with guidance and tables provided by the scheme actuary for the purpose; and

(b) by reference to any relevant factors as at the date the transfer payment is received by the scheme manager.

(2) The benefits in respect of the transfer payment must be calculated by increasing M's pensionable earnings for—

(a) the scheme year in which M joined this scheme; or

(b) if the transfer payment is received more than 12 months after the day on which M joined this scheme (the starting day), the scheme year in which the payment is received.

(3) Paragraph (2)(b) does not apply if—

(a) a written statement estimating the increase in pensionable earnings that M would be entitled to count as a result of the transfer was given to M by the scheme manager during the period of 3 months ending 12 months after the starting date; and

(b) the transfer payment is received by the scheme manager before the end of the period of 3 months after the date of the statement.

(4) If the transfer is a club transfer, the club transfer earned pension M is entitled to count is calculated in accordance with the club transfer arrangements.

(5) If the transfer value statement is accepted from a corresponding scheme, the increase in pensionable earnings M is entitled to count is the increase M would be entitled to count if—

(a) M's employment to which that scheme applied were health service employment in respect of which M was a member of this scheme; and

(b) M's contributions to that scheme were contributions to this scheme.

Transfer from 1995 or 2008 Section

145

(1) This regulation applies to an active member of this scheme (M) who is entitled to require a cash equivalent of M's rights to be used to acquire rights in this scheme pursuant to—

(a) regulation M8 of the 1995 Section ; or

(b) regulation 2.F.18 or 3.F.18 of the 2008 Section .

(2) M may apply to the scheme manager to convert the cash equivalent value into rights under this scheme.

(3) An application under paragraph (2)—

(a) must be in writing in the form provided by the scheme manager for the purpose;

(b) must be made before the end of the period starting with the guarantee date within the meaning of whichever of regulation M8, 2.F.18 or 3.F.18 applies;

(c) may be made only if M has first been provided with a statement of the pensionable service and increase in pensionable earnings M will be entitled to count under this scheme if the application is accepted;

(d) must meet such other conditions as the scheme manager requires;

(e) is irrevocable.

(4) The statement mentioned in paragraph (3)(c) must inform M of—

(a) the amount of the increase in pensionable earnings that will count under this scheme for the purpose of calculating benefits payable to or in respect of M;

(b) the pensionable service that will count under this scheme to determine whether M has 2 years qualifying service for the purposes of regulation 72.

(5) The amount of the increase in pensionable earnings must be calculated in accordance with guidance, tables and other relevant factors provided by the scheme actuary for the purpose.

(6) The pensionable service is equal to the period of employment that qualifies M to the entitlement mentioned in paragraph (1).

(7) If the scheme manager accepts an application under paragraph (2), for the purposes of this scheme—

(a) the period of pensionable service mentioned in paragraph (4)(b) applies for the purpose mentioned in that paragraph;

(b) the amount of the increase in pensionable earnings is credited to M's active member's account in the scheme year in which M's application under paragraph (2) is received.

(8) For the purposes of this regulation, in regulation 141(4), sub-paragraph (a) must be ignored.

Transfers from corresponding 1995 and 2008 schemes

146

(1) This regulation applies to an active member of this scheme (M) if—

(a) M was formerly a member of a corresponding 1995 scheme or a corresponding 2008 scheme; and

(b) the scheme manager considers that on the notional joining date M would be entitled to require a cash equivalent of M's rights in that scheme to be used to acquire rights in a corresponding health service scheme if M became a member of the corresponding health service scheme.

(2) M may apply to the scheme manager to convert the cash equivalent value into rights under this scheme.

(3) An application under paragraph (2) must be in such form, provide such information and be made at such time as the scheme manager requires.

(4) The notional joining date in relation to a relevant corresponding scheme is the date M became a member of this scheme.

(5) References to a corresponding 1995 scheme and a corresponding 2008 scheme must be construed in accordance with regulation 141(6).

SECTION 4 — Bulk transfers

Bulk transfers out

147

(1) This regulation applies if—

(a) the employment of one or more active members (the transferring employees) is transferred without consent to a new employer;

(b) on the transfer the transferring employees cease to be eligible to be members of this scheme;

(c) after the transfer the transferring employees become active members of another occupational pension scheme (the new employer's scheme);

(d) the Secretary of State has agreed special terms for the making of transfer value payments in respect of the transferring employees to the new employer's scheme, after consultation with the scheme actuary; and

(e) the transferring employees have consented in writing to their rights being transferred in accordance with those terms.

(2) In the case of the transferring members or the transferred members, the transfer value payment to be paid—

(a) is not calculated in accordance with regulation 136; but

(b) is to be such amount as the Secretary of State, after consulting the scheme actuary, determines to be appropriate in accordance with the special terms.

(3) This Part has effect with such modifications as are necessary to give effect to those terms.

(4) If the transfer is directly or indirectly attributable to an enactment, this Part has effect with such modifications as the Secretary of State thinks necessary in consequence of the transfer.

Bulk transfers in

148

(1) This regulation applies if—

(a) the employment of one or more persons (the transferred employees) is transferred without their consent to a new employer;

(b) on the transfer the transferred employees cease to be active members of an occupational pension scheme (the former employer's scheme);

(d) the Secretary of State, after consulting the scheme actuary, has agreed special terms for the acceptance of transfer value payments in respect of the transferred employees from the former employer's scheme; and

(e) the transferred employees have consented in writing to their rights being transferred in accordance with those terms.

(2) This scheme has effect with such modifications as are necessary to give effect to the terms mentioned in paragraph (1)(e).

(3) If the transfer is directly or indirectly attributable to an enactment, this scheme has effect with such modifications as the Secretary of State thinks necessary in consequence of the transfer.

CHAPTER 3 — Miscellaneous transfers

EU and overseas transfers

149

(1) This regulation applies in the case of a member whose transfer is subject to transfer arrangements concluded with—

(a) the Communities Pension Scheme of the Institutions of the European Communities; or

(b) any other scheme for the provision of retirement benefits established outside the United Kingdom.

(2) This scheme applies in relation to the member with any modifications the scheme manager considers necessary to comply with—

(a) the terms of those arrangements;

(b) any applicable provision contained in or made under any enactment; and

PART 8 — Independent providers

Interpretation

150

(1) This regulation applies for the purposes of this Part.

(2) An independent provider is a person that employs an individual under a contract of employment and—

(a) is not otherwise an employing authority in respect of the individual;

(b) is a party to a qualifying contract;

(3) A qualifying contract is a contract between a relevant commissioning party and an independent provider the primary purpose of which is the provision of clinical health care services for the NHS and which is—

(a) an NHS standard contract;

(b) an APMS contract;

(c) a contract entered into by a local authority pursuant to its functions under the 2006 Act relating to the improvement and protection of public health and which the Secretary of State agrees to treat as a qualifying contract for these purposes; or

(d) an NHS standard sub-contract;

(e) a primary care network standard sub-contract.

(4) The wholly or mainly condition requires an employee performing services pursuant to a qualifying contract to do so for more than 50% of the employee's time in the employment.

(5) In determining whether the wholly or mainly condition is met regard must be had to—

(a) each scheme year; or

(b) if the service starts or finishes during a scheme year, so much of the year in which the services are performed.

(6) The 75% threshold is 75% of the total gross amounts payable in a scheme year to an independent provider by the commissioning party in respect of a qualifying contract between them.

(7) A commissioning party is a person who commissions services under a qualifying contract.

(8) In this Part—

“closed approval” must be construed in accordance with regulation 151(4);

“IP guarantee” must be construed in accordance with regulation 154;

“open approval” must be construed in accordance with regulation 151(5);

“required level of cover” means a sum equal to 110% of 3/12ths of a reasonable estimate of the independent provider's total annual contribution liability arising under regulations 30, 33 to 35, 48 and 57 in respect of the qualifying contract in respect of which it was granted employing authority status.

Application for employing authority status

151

(1) This regulation applies to a person (the applicant) who—

(a) employs an individual under a contract of employment (the employee);

(b) is not an employing authority in respect of the individual; and

(2) The applicant may apply to be granted the status of an employing authority in respect of the qualifying contract.

(3) An application must—

(a) be in writing;

(b) be in such form as the scheme manager requires;

(d) contain an undertaking that a person who on or after the relevant date is engaged to perform services pursuant to the qualifying contract will do so in a way that satisfies the wholly or mainly condition;

(e) contain a declaration that the applicant is not already an employing authority in respect of a person mentioned in sub-paragraph (c) or (d);

(f) state whether the application is made on a closed approval or open approval basis;

(g) provide an estimate for the scheme year in respect of which employing authority status (if granted) would take account of—

(i) the gross sums the applicant anticipates receiving from the commissioning party in respect of the services it is to provide under each qualifying contract to which it is a party;

(ii) the number of employees who will be engaged in performing such services and who will satisfy the wholly or mainly condition;

(iii) the total pensionable earnings of those employees;

(iv) the total amount of members contributions payable by those employees pursuant to regulation 30 (by reference to the pensionable earnings bands into which they fall), 48 or 57;

(v) the total amount of employing authority contributions payable in respect of those employees pursuant to regulation 33, 34, 35, 48 or 57;

(vi) the total number of employees who would satisfy the wholly or mainly condition and who are engaged in performing services pursuant to each such contract but who are otherwise not eligible to be members of this scheme;

(vii) the total estimated earnings of the employees referred to in paragraph (vi).

(4) A closed approval basis relates to an employee—

(a) who is not otherwise covered by—

(i) a direction under section 7 of the Superannuation (Miscellaneous Provisions) Act 1967 ; or

(ii) a determination under section 25(5) of the 2013 Act; and

(b) who was, within the 12 months preceding the start of the employment contract with the applicant, in an employment in which the employee was entitled to participate in—

(i) superannuation benefits provided under section 10 of the Superannuation Act 1972 whether or not the employee had been a member of such a scheme pursuant to that entitlement; or

(ii) benefits provided under sections 1(2)(e) and 3 of the 2013 Act whether or not the employee had been a member of such a scheme pursuant to that entitlement; and

(i) is performing services pursuant to a qualifying contract; and

(ii) satisfies the wholly or mainly condition

(5) An open approval basis relates to an employee performing services pursuant to a qualifying contract—

(a) who satisfies the wholly or mainly condition;

(b) regardless of whether the employee is within paragraph (4).

Grant of employing authority status

152

(1) The scheme manager may grant employing authority status on an application under regulation 151 if—

(a) satisfied as to the matters in paragraph (3) of that regulation; and

(b) where an IP guarantee is required, the guarantee has been provided to the scheme manager.

(2) An approval application may nominate a date (“the nominated date”) from which approval by the Secretary of State (if granted) is to have effect.

(3) Where paragraph (2) applies and—

(a) the Secretary of State is satisfied that the Independent Provider will satisfy the conditions in paragraph (3) of regulation 151 at the nominated date,

(b) the Secretary of State accepts the nominated date for approval purposes, and

approval takes effect from the nominated date.

(4) Where paragraph (2) applies and—

(a) the Secretary of State is satisfied that the Independent Provider did satisfy the conditions in paragraph (3) of regulation 151 at the nominated date,

(b) the Secretary of State accepts the nominated date for approval purposes,

(d) the Secretary of State has received the contributions referred to in paragraphs (iv) and (v) of paragraph (3) of regulation 151,

approval takes effect from the nominated date.

(5) Where an approval application—

(a) does not include a nominated date, or

(b) does include such a date, but which the Secretary of State does not accept for approval purposes,

approval takes effect from the date that it is granted by the Secretary of State.

Extension of employing authority status

153

(1) Paragraph (2) applies if an independent provider is or subsequently becomes a party to a qualifying contract which is not the qualifying contract in respect of which employing authority status was granted (a further contract).

(2) The independent provider's employing authority status extends to the further contract with effect from—

(a) if the independent provider was a party to the further contract at the date employing authority status was granted, that date;

(b) in any other case, the date on which the further contract is entered into.

(3) Paragraph (4) applies if an independent provider is associated with another employer (the associated employer) who is a party to a qualifying contract.

(4) The independent provider's status as an employing authority extends to a qualifying contract to which the associated employer is a party.

(5) The extension of employing authority status by virtue of paragraph (4) takes effect—

(a) if the associated employer is a party to the qualifying contract mentioned in paragraph (4) at the date the independent provider is granted employing authority status, on that date;

(b) in any other case, on the date the associated employer enters into the qualifying contract.

(6) For the purposes of paragraph (3) an independent provider is associated with another employer if the independent provider—

(a) exercises direct control over the other employer's affairs; or

(b) is entitled to acquire direct or indirect control over those affairs.

(7) Paragraph (8) applies if, in consequence of paragraph (2) or (4) the independent provider's estimated contribution liability under regulations 30, 33 to 35, 48 and 57 increases by 10% or more on the date specified in paragraph (2) or (5), as the case may be.

(8) The scheme manager may require the independent provider to take any of the following steps—

(a) increase the sum already guaranteed by an IP guarantee;

(b) provide such further IP guarantees in respect of the amount of the increase in the estimated contribution liability as the scheme manager thinks appropriate;

(c) if the independent provider has not already provided an IP guarantee, provide an IP guarantee for the total amount of estimated contribution liability in relation to all qualifying contracts in respect of which the independent provider has employing authority status.

IP guarantees

154

(1) An IP guarantee is a guarantee by an independent provider which—

(a) is in such form as the scheme manager approves;

(b) guarantees payment to the scheme manager of the required level of cover;

(d) takes effect on the date the independent provider is granted employing authority status for the purposes of this Part.

(2) The scheme manager may, as a condition of granting employing authority status to an independent provider, require the independent provider to provide an IP guarantee.

(3) The scheme manager may at any other time require an independent provider to provide an IP guarantee and may do so in particular—

(a) if that independent provider fails to meet any of its liabilities under these Regulations as an employing authority;

(b) if, before it was granted employing authority status under this Part, that independent provider failed in any other capacity to meet such liabilities;

(c) if the scheme manager has reasonable grounds to believe that the independent provider is unable, or is likely to become unable, to meet such liabilities.

(4) The scheme manager may in exceptional cases specify additional requirements for an IP guarantee.

(5) An independent provider must review each IP guarantee currently having effect—

(a) not later than one month before the start of a scheme year;

(b) not later than one month after the date on which employing authority status was granted;

(c) not later than one month before the date on which the guarantee is expressed to cease to have effect (if that is not the start of a scheme year);

(d) if it becomes a party to another qualifying contract;

(e) immediately it reasonably believes that its estimated contribution liability under regulation 30, 33, 34, 35, 48 or 57 has increased or may increase by more than 10%;

(f) on being notified in writing by the scheme manager that the scheme manager considers that the sum guaranteed by the guarantee does not equal or exceed the required level of cover.

(6) Paragraph (7) applies if—

(a) paragraph (5)(e) applies; and

(b) the independent provider determines that the amount of cover provided by the IP guarantee or IP guarantees currently having effect is less than the total required level of cover in respect of all of its qualifying contracts.

(7) The independent provider must before the end of the period of 14 days starting with the determination—

(a) increase the amount of cover its IP guarantee or guarantees so as to at least equal the total required level of cover; or

(b) take out an additional IP guarantee or guarantees for such amount or amounts as will secure that the total required level of cover is effected.

(8) The independent provider must before the end of the period mentioned in paragraph (7) notify the scheme manager of the action taken under that paragraph.

(9) Paragraph (10) applies if—

(a) paragraph (5)(f) applies; and

(b) the independent provider determines that the amount of cover provided by the IP guarantee or IP guarantees currently having effect is not less than the total required level of cover in respect of all of its qualifying contracts.

(10) The independent provider must—

(a) before the end of the period of 14 days after the determination notify the scheme manager of the determination; and

(b) provide the scheme manager with such information as the scheme manager may from time to time require in relation to the extent to which its IP guarantee or guarantees are sufficient to meet the required level of cover.

75% threshold and contribution surcharge

155

(1) An independent provider must not in any scheme year exceed the 75% threshold for the aggregate amount of pensionable earnings paid to members of this scheme in respect of the performance of services under all qualifying contracts in relation to which the independent provider is an employing authority.

(2) If an independent provider fails to comply with paragraph (1), the independent provider must pay to the scheme manager a surcharge (the employer contribution surcharge) of 12% of—

(a) the amount by which the 75% threshold is exceeded; or

(b) if paragraph (3) applies such part of the excess as the scheme manager considers reasonable having regard to the declared NHS income, profits, losses and expenses for the scheme year in question.

(3) This paragraph applies if the scheme manager is satisfied that there is a reasonable explanation for the threshold having been exceeded.

(4) Where paragraph (3) applies, the scheme manager may, at any time—

(a) reduce the amount of the excess in respect of which the employer contribution surcharge is to be paid; or

(b) determine that no surcharge is to be paid.

(5) An employer contribution surcharge must be paid to the scheme manager before the end of the period of one month (or in exceptional circumstances such other period as the scheme manager decides) starting with the date on which the scheme manager gives notice to an independent provider that the surcharge is payable.

(6) If an independent provider fails to pay an employer contribution surcharge on or before the time required by paragraph (5)—

(a) there is a chargeable event for the purposes of regulation 36;

(b) paragraphs (2) to (8) of that regulation apply as if the surcharge were contributions payable by an employing authority.

(7) The failure of an independent provider to comply with paragraph (1) does not affect—

(a) the amount of pensionable earnings a person who is member of this scheme by virtue of regulation 18(1)(c) is entitled to count for the purposes of these Regulations; or

(b) entitlement to or the amount of benefits payable under this scheme.

Default notice

156

(1) This regulation applies if the scheme manager gives an independent provider a notice under regulation 36(4) (non-payment of contributions) in respect of contributions payable in connection with a qualifying contract.

(2) The scheme manager must—

(a) also give a copy of the notice to the commissioning party to the qualifying contract;

(b) at the same time as the notice under regulation 36(4), give the independent provider notice that continued non-payment of the contributions will result in termination of employing authority status with effect from the day following the end of the second month after the month for which the contributions are due.

(3) If, one month after the issue of a notice under paragraph (1), some or all of the contributions referred to in that paragraph remain unpaid, the scheme manager must—

(a) notify the commissioning party of the non-payment specifying—

(i) the period or periods for which contributions are outstanding; and

(ii) the amount or amounts outstanding; and

(b) request the commissioning party—

(i) to consider withholding from any payments it is due to make to the independent provider in relation to any qualifying contract, an amount equal to the amount of unpaid contributions; and

(ii) to pay that amount to the scheme manager.

(4) If the scheme manager receives an amount pursuant to paragraph (3)(b)(ii), the scheme manager must—

(a) give the commissioning party a written receipt for the payment;

(b) notify the independent provider in writing that a sum equal to the amount of the unpaid contributions has been—

(i) withheld pursuant to paragraph (3)(b)(i); and

(ii) paid to the scheme manager by the commissioning party pursuant to paragraph (3)(b)(ii).

Pension returns

157

(1) An independent provider must provide the scheme manager with the information specified in paragraph (4) in respect of the relevant period.

(2) The information must be provided—

(a) in writing and in such form as the scheme manager from time to time requires;

(b) not more than two months after the end of a scheme year; and

(c) not more than two months after the date when the independent provider ceases to be an employing authority for the purposes of this scheme if that does not occur at the end of a scheme year.

(3) The relevant period is—

(a) for the purposes of paragraph (2)(b), the complete scheme year in respect of which the information is provided;

(b) for the purposes of paragraph (2)(c), the period beginning with the start of the scheme year in which the cessation occurs and ending with the date of the cessation.

(4) The information is—

(a) a complete list of all qualifying contracts to which the independent provider is a party at any time during the relevant period;

(ab) a complete list of such of the contracts referred to in sub-paragraph (a) which the Independent Provider has sub-contracted by way of NHS standard sub-contract to a third party: that list must identify the third party and also specify the total gross amounts expressed to be payable under such sub-contracts to that third party;

(b) the total gross amounts—

(i) estimated in accordance with regulation 151(3) to be payable during the relevant period under those contracts to the independent provider by the commissioning party;

(ii) actually received by the independent provider from the commissioning party during the relevant period;

(d) whether the approval status has changed and, if so, when;

(e) where the scheme manager has required an IP guarantee, the amount guaranteed;

(f) the number of employees who were engaged in performing services pursuant to a qualifying contract who satisfy the wholly or mainly condition;

(g) the total pensionable earnings of those employees;

(h) the total employee contributions payable by those employees pursuant to regulations 30 (by reference to the pensionable earnings bands into which they fall), 48 and 57;

(i) the total amount of employing authority contributions payable in respect of those employees pursuant to regulation 33, 34, 35, 48 or 57;

(j) confirmation that those of its employees who were or became members of this scheme during the relevant period satisfied the wholly or mainly condition throughout the period;

(k) the total number of employees who—

(i) satisfied the wholly or mainly condition and were engaged in performing services pursuant to a qualifying contract; but

(ii) were otherwise not eligible to be members of this scheme.

(l) the total amount of pensionable earnings of employees who satisfied the wholly or mainly condition expressed as a percentage of the total gross amounts payable to the independent provider by a commissioning party in respect of all of its qualifying contracts;

(m) where the percentage referred to in sub-paragraph (l) exceeds 75%, an explanation for that percentage having been exceeded;

(n) whether the independent provider has ceased to be a party to a qualifying contract;

(o) whether the independent provider no longer has any employees who satisfy the wholly or mainly condition.

(5) Paragraph (6) applies if an employee of an independent provider—

(a) is a member of this scheme by virtue of regulation 18(1)(c); and

(b) ceases to satisfy the wholly or mainly condition or any other condition of membership of this scheme.

(6) The independent provider must—

(a) inform the employee that the employee's membership of this scheme is terminated on the date the employee ceased to satisfy the condition;

(b) notify that fact to the scheme manager by notice in writing.

Provision of information

158

(1) This regulation applies for the purposes of enabling the scheme manager to assess whether the grant of employing authority status to an independent provider should continue to have effect.

(2) The scheme manager may at any time require the independent provider to provide information which the scheme manager thinks relevant relating to—

(a) those employed by the independent provider who have become members of this scheme by virtue of regulation 18(1)(c);

(b) the qualifying contracts in respect of which employing authority status was granted or extended;

(c) the numbers of persons engaged in performing services pursuant to the contracts and the proportion of their time spent doing so.

(3) The information must be provided not later than 14 days after the date it is requested.

(4) The scheme manager may by notice in writing require the independent provider to provide such other information as the scheme manager thinks necessary to determine whether there has been compliance with these Regulations.

(5) Information required under paragraph (4) must be provided within the time specified in the notice.

Termination of employing authority status

159

(1) The scheme manager must terminate an independent provider's status as an employing authority in respect of a qualifying contract if the independent provider ceases to be a party to the contract.

(2) The scheme manager may terminate an independent provider's status as an employing authority in respect of a qualifying contract in any of the following circumstances—

(a) if the independent provider subsequently acquires the status of an employing authority by virtue of being listed in Schedule 5 (ignoring paragraph 5 of that Schedule);

(b) if all of the employees of the independent provider who acquired membership of the scheme by virtue of regulation 18(1)(c) cease to satisfy the wholly or mainly condition;

(i) fails to review, in accordance with regulation 154(5), the amount of cover guaranteed by its IP guarantee; or

(ii) having carried out the review fails to increase the amount of cover provided by the IP guarantee where such an increase is required;

(d) if, following the issue of a notice under regulation 156, the independent provider fails to pay to the scheme manager the amount specified in paragraph (1) of that regulation in the time so specified;

(e) if paragraph (7) of regulation 154 applies and the independent provider fails to act as required by that paragraph;

(f) if the independent provider fails to provide information required by regulation 158(2) or (4);

(g) if the scheme manager is not satisfied that the information provided by the independent provider pursuant to regulation 158(2) supports the continuation of its status as an employing authority;

(h) if the independent provider fails to notify the scheme manager that a guarantor of any of its IP guarantees has withdrawn or revoked its guarantee;

(i) if the independent provider has in any three years in a five year period exceeded the 75% threshold or has a pattern of doing so.

(3) If the scheme manager decides that the independent provider's status as an employing authority in respect of a qualifying contract is to be terminated, the scheme manager must, as soon as reasonable practicable, give the independent provider notice of—

(a) the termination; and

(b) the date on which it takes effect.

(4) If an independent provider's status as an employing authority is terminated, its employees who are or were eligible to be members of this scheme cease to be members or be eligible to be members on the date of termination.

Withdrawal from employing authority status in this scheme

160

(1) An independent provider may withdraw from employing authority status in this scheme in accordance with this regulation.

(2) The independent provider must give notice to the scheme manager (a withdrawal notice) that it intends to cease to be an independent provider for the purposes of these Regulations with effect from the date specified in the notice (the withdrawal date).

(3) A withdrawal notice that affects a person who has become a member of this scheme by virtue of regulation 18(1)(c) must not be given unless the person gives consent in writing to the independent provider.

(4) The withdrawal date must not be earlier than the end of the period of six months starting with the date of the withdrawal notice (the withdrawal period).

(5) A withdrawal notice must—

(a) be in writing; and

(b) be accompanied by evidence of the consent required under paragraph (3).

(6) A withdrawal notice has effect in respect of every qualifying contract to which the independent provider is a party.

(7) With effect from the withdrawal date, a person who is a member of this scheme by virtue of regulation 18(1)(c) ceases to be such a member.

Change from open approval to closed approval basis

161

(1) If the employing authority status of an independent provider was granted on an open approval basis, the independent provider may give the scheme manager a modification notice stating that it wishes its status as an employing authority to cease to be on that basis but to continue instead on a closed approval basis.

(2) A modification notice given in respect of one or more qualifying contracts is effective in respect of all qualifying contracts.

(3) A modification notice must—

(a) be in writing;

(b) specify a date on which the modification is to take effect (“the operative modification date”): that date cannot fall within the period of 6 months commencing with the date of the modification notice (“the modification period”);

(c) be accompanied by the written consent of any affected person who has consented to the giving of that notice: for these purposes an “affected person” is any person who became a member of this scheme by virtue of regulation 18(1)(c).

(4) On the operative modification date—

(a) the basis of the independent provider's approval changes from an open to a closed approval basis;

(b) any affected person who gave consent to the giving of the modification notice ceases to be a member of this scheme;

(5) A person who is, but for a modification notice, otherwise entitled to participate in this scheme during the modification period by virtue of the independent provider having been granted approval on an open approval basis, continues to be so entitled but only for the duration of that period.

(6) Nothing in paragraph (5) prevents a person referred to in that paragraph from becoming a member of this scheme by virtue of their employment with some other employing authority.

(7) During the modification period, a person who was eligible to become a member of this scheme in accordance with regulation 18(1)(c) but who did not do so by virtue of opting out in accordance with paragraph 1 of Schedule 4, may, in accordance with paragraph 2 of that Schedule, join or re-join this scheme.

Change from closed approval basis to open approval basis

162

(1) An independent provider granted employing authority status on a closed approval basis when it first applied for approval may give the scheme manager a modification notice stating that it wishes its status as an employing authority to cease to be on that basis but to continue instead on an open approval basis.

(2) An independent provider that has previously modified its participation in this scheme may give the scheme a further modification notice stating that it wishes its status as an employing authority to cease to be on a closed approval basis but to continue instead on an open approval basis.

(3) An application referred to in paragraphs (1) and (2) must specify—

(a) the date (“the modification date”) from which the change to open approval is sought: the modification date must not be less than 3 months from the date the application is received by the scheme manager;

(b) that approval on an open approval basis is sought in respect of all employees of the independent provider engaged to perform services pursuant to a qualifying contract at the modification date provided always that such persons satisfy the wholly or mainly condition and regardless of whether they were so engaged at the date of any earlier approval.

(4) Where the scheme manager is satisfied that the independent provider will, at the modification date, satisfy the matters set out in regulation 151, the change to open approval basis is to take effect from that date.

PART 9 — General

Definitions

163

The expressions listed in column 1 of the Table in Schedule 15 have the meaning given by the corresponding entry in column 2.

OOH provider

164

(1) A reference to an OOH provider is a reference to a body within paragraph (2) or (3).

(2) A body is within this paragraph if it is a company limited by guarantee (which is not otherwise an employing authority)—

(a) in which all the members of the company are medical practitioners, APMS contractors, GMS practices or PMS practices, and the majority of those members are—

(i) APMS contractors, GMS practices or PMS practices whose APMS contracts, GMS contracts or PMS agreements require them to provide OOH services; or

(ii) medical practitioners who are partners or shareholders in an APMS contractor, a GMS practice or a PMS practice which is a partnership or a company limited by shares and which is required to provide OOH services under its GMS contract, PMS agreement or APMS contract;

(b) which has a contract with an integrated care board, NHS England, a Local Health Board, an APMS contractor, a GMS practice or a PMS practice for the provision of OOH services; and

(c) in respect of which an integrated care board, NHS England or Local Health Board appointed by the Secretary of State or the National Assembly of Wales to act on his or its behalf—

(i) is satisfied that the provision of OOH services by the company is wholly or mainly a mutual trading activity;

(ii) is satisfied that the company has met all the conditions for being an OOH provider in this regulation; and

(iii) has, pursuant to a written application made by the company to it for that purpose, approved the company as an employing authority.

(3) A body is within this paragraph if it is a body corporate, other than a company limited by guarantee (which is not otherwise an employing authority) which—

(a) operates in the interests of those who are the recipients of the primary medical services it provides or of the general public;

(b) operates on a not-for-profit basis;

(d) has memorandum or articles or rules that—

(i) prohibit the payment of dividends to its members; and

(ii) require its profits (if any) or other income to be applied to promoting its objects, and

(iii) require all the assets which would otherwise be available to its members generally to be transferred on its winding up either to another body which operates on a not-for-profit basis and whose purpose is to provide health or social care for the benefit of the community or to another body the objects of which are the promotion of charity and anything incidental or conducive thereto;

(e) has at least one member who is—

(i) an APMS contractor, a GMS practice or a PMS practice; or

(ii) a partner in a partnership that is an APMS contractor, a GMS practice or a PMS practice; or

(iii) a shareholder in a company limited by shares that is an APMS contractor, a GMS practice or a PMS practice;

(f) has a contract with an integrated care board, NHS England or Local Health Board, an APMS contractor, a GMS practice or a PMS practice, for the provision of OOH services, and

(g) is approved as an employing authority by Clinical Commissioning integrated care board, NHS England or Local Health Board appointed by the Secretary of State to act on the Secretary of State's behalf—

(i) pursuant to a written application made by the body to it for that purpose; and

(ii) that integrated care board or Board being satisfied that the body has met all the conditions for being an OOH provider in this regulation.

(4) For the purposes of paragraph (3)(c)—

(a) a body corporate is another person's associated company if the person—

(i) has control of it; and

(ii) is not an employing authority;

(b) a person is taken to have control of a body corporate if the person—

(i) exercises, or is able to exercise direct or indirect control over its affairs; or

(ii) is entitled to acquire such control.

(5) A company limited by guarantee or other body corporate which provides or is to provide OOH services and which wishes to be approved as an employing authority must make a written application to an integrated care board, NHS England or Local Health Board appointed by the Secretary of State to act on the Secretary of State's behalf (“the appointed NHS body”).

(6) An application referred to in paragraph (5) may specify the date from which approval by the appointed NHS body (if given) is to have effect (“the nominated date”).

(7) If a company limited by guarantee or other body corporate makes an application and—

(a) the appointed NHS body is satisfied that the company or other body corporate is within paragraph (2) or (3), as the case may be or will be at a nominated date which is later than the approval date; and

(b) it approves that application, the approval takes effect on the later of the nominated date and the approval date.

(8) If paragraph (7) applies, NHS employment is treated as commencing on the later of the nominated date (if any) and the approval date.

(9) The appointed NHS body may give an OOH provider a notice in writing terminating its participation in this scheme if the provider—

(a) does not have in force a guarantee, indemnity or bond as required by the scheme manager in accordance with regulation 165;

(b) has ceased to be within paragraph (2) or (3);

(i) a proposal for a voluntary arrangement has been made or approved under Part I of the Insolvency Act 1986 (“the 1986 Act”);

(ii) an administration application has been made, or a notice of intention to appoint an administrator has been filed with the court, or an administrator has been appointed under Schedule B1 to the 1986 Act ;

(iii) a receiver, manager, or administrative receiver has been appointed under Part III of the 1986 Act;

(iv) a winding-up petition has been presented, a winding-up order has been made or a resolution for voluntary winding-up has been passed under Part IV or Part V of the 1986 Act or pursuant to section 123 of the Co-operative and Community Benefit Societies Act 2014 or an instrument of dissolution has been drawn up in accordance with section 119 of the Co-operative and Community Benefit Societies Act 2014;

(v) notice has been received by it that it may be struck off the register of companies, or an application to strike it off has been made, under Part 31 of the Companies Act 2006 .

(10) An OOH provider—

(a) must give the appointed NHS body notice in writing upon the occurrence of any of the events referred to in paragraph (9)(c) and must give the notice on the same day as the event;

(b) that wishes to cease to participate in this scheme must give both the appointed Group or Board and its employees not less than 3 months' notice in writing (to commence with the date of the notice) of that fact.

(11) An OOH provider must cease to participate in this scheme on—

(a) the date specified by the appointed NHS body in a notice under paragraph (9);

(b) the day upon which the period referred to in paragraph (10)(b) expires if a notice under that provision has been given.

Guarantees, bonds and indemnities

165

(1) This regulation applies if—

(a) an employing authority fails or has at any time in the past failed, to pay or to remit contributions in accordance with regulation 30 to 35, 48, 57 or 62; and

(b) the authority is—

(i) a GMS practice;

(ii) a PMS practice;

(iii) an APMS contractor; or

(iv) an OOH provider.

(2) The scheme manager may require the authority to have in force a guarantee, indemnity or bond which provides for payment to the scheme manager, if the authority fails to meet them, of all future liabilities under—

(a) this scheme; or

(b) the National Health Service Pension Scheme (Additional Voluntary Contributions) Regulations 2000 .

(3) The guarantee, indemnity or bond must be in such form, in respect of such amount and provided by such person as the Secretary of State approves for the purpose.

Medical practitioner

166

(1) References to a medical practitioner must be construed in accordance with this regulation.

(2) A medical practitioner is a fully registered person—

(a) whose name is included in a medical performers list; and

(b) to whom any of paragraphs (3) to (7) apply.

(3) This paragraph applies to—

(a) a GMS practice,

(b) a PMS practice,

(d) an OOH provider.

(4) This paragraph applies to a partner in a partnership that is—

(a) a GMS practice,

(b) a PMS practice, or

(d) a primary care network management company.

(5) This paragraph applies to a shareholder in a company limited by shares that is—

(a) a GMS practice,

(b) a PMS practice, or

(d) a primary care network management company.

(6) This paragraph applies to an ophthalmic provider.

(7) This paragraph applies to a person—

(a) who is employed by a GMS practice, a PMS practice, an APMS contractor, an OOH provider or a Local Health Board or a primary care network management company wholly or mainly to assist the employer in the discharge of the employer's duties as a GMS practice, a PMS practice, an APMS contractor, an OOH provider or a Local Health Board or as a party to a primary care network standard sub-contract (as the case may be), or

(b) who participates in a doctors' retainer scheme,

if the person performs essential services, additional services, enhanced services, dispensing services, collaborative services, commissioned services, OOH services, certification services, Board and advisory work, health-related functions exercised under section 75 of the 2006 Act, NHS 111 services, pharmaceutical services, general ophthalmic services, primary dental services, services under an NHS standard contract, an NHS standard sub-contract or a contract entered into by a local authority pursuant to its functions under the 2006 Act relating to the improvement and protection of public health and services, practice based services education or training, or organising the education or training of medical students or practitioners (or a combination of those services) as or on behalf of that practice, contractor or provider.

(8) A person who is a GP registrar is not a medical practitioner.

(9) A reference to a fully registered person must be construed in accordance with section 55 of the Medical Act 1983 .

(10) An ophthalmic provider is a fully registered person who—

(a) as regards England—

(i) is included in an ophthalmic performers list prepared and published by NHS England pursuant to regulation 3(1) of the National Health Service (Performers Lists) (England) Regulations 2013 ; and

(ii) holds a GOS contract;

(b) in Wales, is included in an ophthalmic list (as defined in regulation 10(2) of the National Health Service (Ophthalmic Services) (Wales) Regulations 2023) prepared and published by a Local Health Board in accordance with Chapter 2 of Part 4 of those Regulations.

SCHEDULE 1 — Pension Board

Composition of the pension board

1

(1) The composition of the Pension Board (the Board) is to be determined from time to time by the scheme manager—

(a) having regard to the nature of the matters on which the Board may be required to assist;

(b) having regard to the desirability of securing the effective and efficient governance and administration of—

(i) this scheme, and

(ii) any statutory pension scheme that is connected with it; and

(c) must include employer representatives and member representatives (see section 5(6) of the 2013 Act) in equal numbers.

(2) The members of the Board are to be appointed by the scheme manager.

(3) The scheme manager cannot appoint a person to be a member of the Board unless satisfied that the person does not have a conflict of interest.

Terms of office of members

2

(1) The duration of the term of office of each member of the Board is to be determined by the scheme manager on appointment.

(2) No person may hold office as a member of the Board for more than an aggregate of nine years during any continuous period of twelve years.

Disqualification from appointment as a member

3

(1) A person is disqualified from appointment as a member of the Board in any of the circumstances set out in sub-paragraph (2).

(2) Those circumstances are if that person—

(a) has a conflict of interest;

(b) has at any time been convicted of an offence involving dishonesty or deception in the United Kingdom and the conviction is not a spent conviction;

(i) the final outcome of the proceedings was a sentence of imprisonment or detention; and

(ii) the conviction is not a spent conviction;

(d) has at any time been removed from the office of charity trustee or trustee for a charity by an order made by the Charity Commissioners, the Charity Commission or the High Court on the grounds of any misconduct or mismanagement in the administration of the charity—

(i) for which the person was responsible or to which the person was privy; or

(ii) which the person by the person's conduct contributed to or facilitated,

from being concerned with the management or control of any body;

(e) has at any time been removed under—

(i) section 7 of the Law Reform (Miscellaneous Provisions) (Scotland) Act 1990 (powers of Court of Session to deal with management of charities); or

(ii) section 34(5)(e) of the Charities and Trustee Investment (Scotland) Act 2005 (powers of the Court of Session),

from being concerned with the management or control of any body;

(f) has at any time been removed from office as the chair, member, convenor or director of any public body on the grounds, in terms, that it was not in the interests of, or conducive to the good management of, that body that the person should continue to hold that office;

(g) at any time has been made bankrupt or sequestration of the person's estate has been awarded, and—

(i) the person has not been discharged; or

(ii) the person is the subject of a bankruptcy restrictions order or an interim bankruptcy restrictions order under Schedule 4A to the Insolvency Act 1986 (bankruptcy restrictions order and undertaking);

(h) has at any time made a composition or arrangement with, or granted a trust deed for, the person's creditors and the person has not been discharged in respect of it;

(i) is subject to—

(i) a disqualification order or disqualification undertaking under the Company Directors Disqualification Act 1986 ;

(ii) a disqualification order under Part H of the Companies (Northern Ireland) Order 1986 ;

(iii) a disqualification undertaking under the Company Directors Disqualification (Northern Ireland) Order 2002 ; or

(iv) an order made under section 429(2) of the Insolvency Act 1986 (disabilities on revocation of a county court administration order);

(j) has at any time been convicted of an offence elsewhere than in the United Kingdom and the scheme manager is satisfied that the person's presence on the pension board would be liable to undermine public confidence in the governance, management or administration of—

(i) this scheme; or

(ii) any statutory pension scheme that is connected with it.

Appointment, term of office and cessation of office of the chair

4

(1) The scheme manager is to appoint the chair of the Board.

(2) If the person appointed is not already a member of the Board, by virtue of the appointment, the person becomes a member of the Board.

(3) The term of office of a member of the Board as chair is to be determined by the scheme manager on appointment of the member as chair, but it must be for a period that is no longer than the period between the chair's date of appointment as chair and the date on which the chair's term of office as a member is due to expire (irrespective of whether or not they are thereafter reappointed as a member).

(4) A member serving as chair ceases to be chair—

(a) on ceasing to be a member;

(b) if the member resigns as chair, which the member may do at any time by giving a minimum of six months' notice (or such shorter period as the scheme manager is prepared to accept) in writing to the scheme manager;

Voting and quorum

5

(1) Only the following members of the Board are entitled to vote at meetings of the Board—

(a) members who are representatives of employers;

(b) members who are representatives of scheme members;

(2) The quorum of the Board—

(a) is the lowest whole number of members which is equal to or exceeds two thirds of the total number of members of the Board entitled to vote;

(b) must include the chair.

Conflicts of interest

6

(1) The scheme manager must, from time to time, be satisfied that none of the members of the Board has a conflict of interest.

(2) For the purpose of enabling the scheme manager to be satisfied that a person referred to in sub-paragraph (3) does not have a conflict of interest, that person must provide the scheme manager with such information as the scheme manager reasonably requires.

(3) Those persons are—

(a) a member of the Board;

(b) a person proposed to be appointed by the scheme manager as a member of the Board.

Information

7

(1) The information about the Board required to be published by section 6 (Pension Board: information) of the 2013 Act must additionally include a statement in relation to each member of the Board setting out any financial or other interest not being a conflict of interest but which has the potential to constitute a conflict of interest in the future.

(2) The obligation to include a statement mentioned in sub-paragraph (1) may be satisfied in whole or in part by the publication of any information provided to the scheme manager for the purposes of paragraph 6(2).

SCHEDULE 2 — Scheme Advisory Board

Composition of the Scheme Advisory Board

1

(1) The composition of the Scheme Advisory Board (the Board) is to be determined from time to time by the Secretary of State having regard to the nature of the advice which the Board may be required to provide.

(2) The members of the Board are to be appointed by the Secretary of State.

(3) The Secretary of State cannot appoint a person to be a member of the Board unless satisfied that the person does not have a conflict of interest.

Disqualification from appointment as a member

2

(1) A person is disqualified from appointment as a member of the Board in any of the circumstances set out in sub-paragraph (2).

(2) Those circumstances are if that person—

(a) has a conflict of interest;

(b) has at any time been convicted of an offence involving dishonesty or deception in the United Kingdom and the conviction is not a spent conviction;

(i) the final outcome of the proceedings was a sentence of imprisonment or detention; and

(ii) the conviction is not a spent conviction;

(d) has at any time been removed from the office of charity trustee or trustee for a charity by an order made by the Charity Commissioners, the Charity Commission or the High Court on the grounds of any misconduct or mismanagement in the administration of the charity—

(i) for which the person was responsible or to which the person was privy; or

(ii) which the person by the person's conduct contributed to or facilitated,

from being concerned with the management or control of any body;

(e) has at any time been removed under—

(i) section 7 of the Law Reform (Miscellaneous Provisions) (Scotland) Act 1990 (powers of Court of Session to deal with management of charities); or

(ii) section 34(5)(e) of the Charities and Trustee Investment (Scotland) Act 2005 (powers of the Court of Session),

from being concerned with the management or control of any body;

(f) has at any time been removed from office as the chair, member, convenor or director of any public body on the grounds, in terms, that it was not in the interests of, or conducive to the good management of, that body that the person should continue to hold that office;

(g) at any time has been made bankrupt or sequestration of the person's estate has been awarded, and—

(i) the person has not been discharged; or

(ii) the person is the subject of a bankruptcy restrictions order or an interim bankruptcy restrictions order under Schedule 4A to the Insolvency Act 1986 (bankruptcy restrictions order and undertaking);

(h) has at any time made a composition or arrangement with, or granted a trust deed for, the person's creditors and the person has not been discharged in respect of it;

(i) is subject to—

(i) a disqualification order or disqualification undertaking under the Company Directors Disqualification Act 1986 ;

(ii) a disqualification order under Part II of the Companies (Northern Ireland) Order 1986 ;

(iii) a disqualification undertaking under the Company Directors Disqualification (Northern Ireland) Order 2002 ; or

(iv) an order made under section 429(2) of the Insolvency Act 1986 (disabilities on revocation of a county court administration order);

(j) has at any time been convicted of an offence elsewhere than in the United Kingdom and the Secretary of State is satisfied that the person's presence on the scheme advisory board would be liable to undermine public confidence in the regulation, management or administration of—

(i) this scheme; or

(ii) any statutory pension scheme that is connected with it.

Appointment, term of office and cessation of office of the chair

3

(1) The Secretary of State must appoint two persons as joint chair of the Board.

(2) One of those persons must be a representative of employers and the other must be a representative of scheme members.

(3) The Secretary of State may appoint a person—

(a) who is not already a member on the Board; or

(b) who is already a member on the Board.

(4) A member serving as chair shall cease to be chair—

(a) on ceasing to be a member;

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